Administrative Proceedings
The list below provides links to opinions and orders concerning both litigated and settled administrative proceedings instituted by the Commission.
The links below direct you to the docket pages for adjudicatory proceedings – meaning administrative proceedings adjudicated by the Commission including by its consideration of initial decisions of ALJ and appeals from SRO or PCAOB action – as well as to docket pages for respondents’ requests to vacate bars under Koch v. SEC or Bartko v. SEC. The docket pages contain the Commission opinions and orders as well as significant pleadings for such matters.
| Date Sort ascending | Respondents |
|---|---|
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Release No.
34-36433
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Release No.
34-36419
File Number:
3-8872
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Release No.
34-36408
File Number:
3-8790
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Release No.
34-36382
File Number:
3-8867
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Release No.
34-36366
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Release No.
34-36357
File Number:
3-8866
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Release No.
34-36338
File Number:
3-8865
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Release No.
34-36333
File Number:
3-8863
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Release No.
34-36334
File Number:
3-8864
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Release No.
34-36247;3-8818
File Number:
3-8818
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